34-93212
Sept. 30, 2021
SR-NYSE-2021-40
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 Comments Due: View Received Comments Federal Register version (86 FR 55066)
34-93214
Sept. 30, 2021
SR-NYSEArca-2021-07
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSEAMER-2021-04
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSECHX-2021-01
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSE-2021-05
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSENAT-2021-01
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93219
Sept. 30, 2021
SR-NASDAQ-2021-054
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Nasdaq IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction Comments Due: View Received Comments Federal Register version (86 FR 55664)
34-93191
Sept. 29, 2021
SR-NYSEArca-2021-57
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (86 FR 55090)
34-93176
Sept. 29, 2021
SR-LCHSA-2021-002
Order Approving Proposed Rule Change Relating to Eligible Collateral and Liquidity Risk Management Federal Register version (86 FR 55061)
34-93178
Sept. 29, 2021
SR-ICEEU-2021-014
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures Federal Register version (86 FR 55045)
34-93157
Sept. 28, 2021
SR-Phlx-2021-43
Order Approving a Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the iShares Russell 2000 ETF (IWM) Comments Due: View Received Comments Federal Register version (86 FR 54749)
34-93147
Sept. 28, 2021
SR-CboeBZX-2021-053
Order Granting Approval of a Proposed Rule Change To Amend Rule 14.11(m) (Tracking Fund Shares) To Provide for the Use of Custom Baskets Consistent With the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Tracking Fund Shares Comments Due: Federal Register version (86 FR 54772)
34-93120
Sept. 24, 2021
SR-NYSEArca-2021-64
Order Granting Approval of a Proposed Rule Change To Amend Rule 8.601-E (Active Proxy Portfolio Shares) To Provide for the Use of Custom Baskets Comments Due: Federal Register version (86 FR 54257)
34-93119
Sept. 24, 2021
SR-NASDAQ-2021-045
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering Comments Due: View Received Comments Federal Register version (86 FR 54262)
34-93122
Sept. 24, 2021
SR-CBOE-2021-041
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Certain Rules To Accommodate the Listing and Trading of Micro FLEX Index Options and To Make Other Clarifying and Non-Substantive Changes Comments Due: View Received Comments Federal Register version (86 FR 54269)
34-93102
Sept. 22, 2021
SR-OCC-2021-007
Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements Comments Due: Federal Register version (86 FR 53718)
34-93103
Sept. 22, 2021
SR-FINRA-2021-016
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults) Comments Due: Federal Register version (86 FR 53696)
34-93097
Sept. 21, 2021
SR-FINRA-2021-015
Order Approving a Proposed Rule Change To Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) Federal Register version (86 FR 53358)
34-92932
Sept. 10, 2021
SR-FINRA-2021-014
Order Granting Approval of a Proposed Rule Change Relating to Members' Filing Requirements Under FINRA Rule 6432 (Compliance With the Information Requirements of SEA Rule 15c2-11) Federal Register version (86 FR 51700)
34-92918
Sept. 9, 2021
SR-ICC-2021-017
Order Approving Proposed Rule Change Relating to the ICE Clear Credit Operating Agreement and Governance Playbook Comments Due: Federal Register version (86 FR 51391)
34-92895
Sept. 8, 2021
SR-ICC-2021-016
Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures Comments Due: Federal Register version (86 FR 51206)
34-92798
Aug. 27, 2021
SR-PEARL-2021-33
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports Comments Due: View Received Comments Federal Register version (86 FR 49360)
34-92797
Aug. 27, 2021
SR-PEARL-2021-32
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees Comments Due: View Received Comments Federal Register version (86 FR 49399)
34-92789
Aug. 27, 2021
SR-EMERALD-2021-21
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products File Nos.: Comments Due: Federal Register version (86 FR 49364)
34-92789
Aug. 27, 2021
SR-MIAX-2021-28
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products File Nos.: Comments Due: Federal Register version (86 FR 49364)
34-92792
Aug. 27, 2021
SR-EMERALD-2021-22
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fees for Purge Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49384)
34-92792
Aug. 27, 2021
SR-MIAX-2021-29
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fees for Purge Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49384)
34-92792
Aug. 27, 2021
SR-PEARL-2021-30
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fees for Purge Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49384)
34-92786
Aug. 27, 2021
SR-ICEEU-2021-010
Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the Clearing Rules, Clearing Procedures, Finance Procedures, Delivery Procedures, CDS Procedures, Membership Procedures, Complaint Resolution Procedures, and General Contract Terms Federal Register version (86 FR 49367)
34-92753
Aug. 25, 2021
SR-ICC-2021-015
Order Approving Proposed Rule Change Relating to the ICC Governance Playbook, ICC Risk Management Framework, and ICC Treasury Operations Policies and Procedures Comments Due: Federal Register version (86 FR 48778)
34-92721
Aug. 23, 2021
SR-CboeBZX-2021-039
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Wise Origin Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (86 FR 48272)
34-92714
Aug. 20, 2021
SR-NYSEArca-2021-37
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the First Trust SkyBridge Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (86 FR 47662)
34-92710
Aug. 19, 2021
SR-FINRA-2021-011
Order Approving a Proposed Rule Change To Amend FINRA Rule 1011(p) ("Specified Risk Event") Federal Register version (86 FR 47527)
34-92700
Aug. 18, 2021
SR-NYSE-2020-96
Order Disapproving a Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments 2021 , 2021 , 2021 , 2022 , 2022 , 2022 Federal Register version (86 FR 47351)
34-92682
Aug. 17, 2021
SR-NSCC-2021-009
Order Approving a Proposed Rule Change To Modify the Rules & Procedures of National Securities Clearing Corporation in Connection With the Implementation of Section 1446(f) of the Internal Revenue Code of 1986 Comments Due: Federal Register version (86 FR 47172)
34-92667
Aug. 13, 2021
SR-NYSE-2020-98
Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments Federal Register version (86 FR 46733)
34-92610
Aug. 9, 2021
SR-NYSEArca-2021-31
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (86 FR 44763)
34-92586
Aug. 6, 2021
4-757
Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data View Received Comments Motion for Stay Federal Register version (86 FR 44142)
34-92590
Aug. 6, 2021
SR-NASDAQ-2020-081
Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Listing Rules Related to Board Diversity and To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Service File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 44424)
34-92583
Aug. 5, 2021
SR-NYSEArca-2021-52
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Federal Register version (86 FR 44116)
34-92561
Aug. 4, 2021
SR-FINRA-2021-009
Order Approving a Proposed Rule Change To Adopt a Supplemental Liquidity Schedule, and Instructions Thereto, Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) Federal Register version (86 FR 43698)
34-92525
July 30, 2021
SR-FINRA-2020-041
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) Federal Register version (86 FR 49589)
34-92501
July 26, 2021
SR-LCHSA-2021-001
Order Approving Proposed Rule Change Relating to the Clearing of Single-Name Credit Default Swaps by U.S. Customers Federal Register version (86 FR 41115)
34-92492
July 26, 2021
SR-ICEEU-2021-013
Order Approving Proposed Rule Change Relating to the ICE Clear Europe Articles of Association Federal Register version (86 FR 41125)
34-92476
July 23, 2021
SR-CboeBZX-2021-029
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (86 FR 40883)
34-92451
July 20, 2021
4-698
Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (86 FR 40114)
34-92392
July 13, 2021
SR-CboeBZX-2021-024
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (86 FR 38154)
34-92368
July 9, 2021
SR-NYSEArca-2021-24
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92368
July 9, 2021
SR-NYSEAMER-2021-21
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92368
July 9, 2021
SR-NYSECHX-2021-07
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92368
July 9, 2021
SR-NYSE-2021-25
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92368
July 9, 2021
SR-NYSENAT-2021-09
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92303
June 30, 2021
SR-FICC-2020-017
Order Approving a Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount Comments Due: View Received Comments Federal Register version (86 FR 35854)
34-92257
June 24, 2021
SR-CboeEDGX-2021-025
Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 34806)
34-92257
June 24, 2021
SR-CboeBZX-2021-035
Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 34806)
34-92257
June 24, 2021
SR-CboeEDGA-2021-011
Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 34806)
34-92257
June 24, 2021
SR-CboeBYX-2021-012
Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 34806)
34-92203
June 17, 2021
SR-CBOE-2021-025
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Cboe Rules 5.37 and 5.38 in Connection With Allocations at the Conclusion of the Exchange's Automated Improvement Mechanism ("AIM") and Complex AIM ("C-AIM") Auctions Comments Due: View Received Comments Federal Register version (86 FR 33425)
34-92207
June 17, 2021
SR-C2-2021-008
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-NASDAQ-2021-029
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-CboeBZX-2021-034
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-PHLX-2021-25
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-ISE-2021-08
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-CBOE-2021-030
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-BX-2021-018
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-CboeEDGA-2021-010
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-MRX-2021-05
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-CboeBYX-2021-011
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-GEMX-2021-03
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-CboeEDGX-2021-024
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92193
June 16, 2021
SR-NYSE-2020-105
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Revise Rules 46 and 46A To Permit the Appointment of Trading Officials Comments Due: View Received Comments Federal Register version (86 FR 33001)
34-92197
June 16, 2021
SR-ICC-2021-013
Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (86 FR 32994)
34-92196
June 16, 2021
SR-CboeBZX-2021-019
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (86 FR 32985)
34-92133
June 9, 2021
SR-FINRA-2020-038
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) That Would Require Members To File Retail Communications Concerning Private Placement Offerings That Are Subject to Those Rules' Filing Requirements Federal Register version (86 FR 31764)
34-92105
June 3, 2021
SR-FINRA-2020-031
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service Federal Register version (86 FR 30663)
34-92071
May 28, 2021
S7-24-89
Order Approving the Fiftieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by Amendment Nos. 1 and 2 Comments Due: Federal Register version (86 FR 29846)
34-92070
May 28, 2021
SR-CTA/CQ-2021-01
Order Approving the Thirty-Sixth Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Seventh Substantive Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (86 FR 29849)
34-92038
May 27, 2021
SR-OCC-2021-003
Order Approving Proposed Rule Change To Establish OCC's Persistent Minimum Skin-In-The-Game Comments Due: View Received Comments Federal Register version (86 FR 29861)
34-92033
May 26, 2021
SR-NYSE-2021-14
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-92033
May 26, 2021
SR-NYSENAT-2021-04
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-92033
May 26, 2021
SR-NYSEArca-2021-13
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-92033
May 26, 2021
SR-NYSEAMER-2021-10
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-92033
May 26, 2021
SR-NYSECHX-2021-03
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-91961
May 20, 2021
SR-NASDAQ-2020-062
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations Comments Due: View Received Comments Federal Register version (86 FR 28407)
34-91951
May 20, 2021
SR-ICC-2021-009
Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy Comments Due: Federal Register version (86 FR 28425)
34-91935
May 19, 2021
SR-OCC-2021-004
Order Granting Approval of Proposed Rule Change Relating to Revisions to OCC's Auction Participation Requirements Comments Due: Federal Register version (86 FR 28181)
34-91947
May 19, 2021
SR-NASDAQ-2020-057
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (86 FR 28169)
34-91918
May 18, 2021
SR-ICC-2021-008
Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description Comments Due: Federal Register version (86 FR 27927)
34-91921
May 18, 2021
SR-CboeBZX-2021-023
Order Approving a Proposed Rule Change To Extend the Cutoff Time for Accepting on Close Orders Entered for Participation in the Exchange's Closing Auction and To Clarify Changes to the Definitions of Late-Limit-On-Close and Late-Limit-On-Open Orders Comments Due: Federal Register version (86 FR 27905)
34-91904
May 17, 2021
SR-NASDAQ-2021-007
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms Comments Due: View Received Comments Federal Register version (86 FR 27659)
34-91894
May 13, 2021
SR-ICC-2021-007
Order Approving Proposed Rule Change Relating to the ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (86 FR 27136)
34-91834
May 11, 2021
SR-ICC-2021-006
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures Comments Due: Federal Register version (86 FR 26745)
34-91845
May 11, 2021
SR-CboeBZX-2021-014
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish Multiple Intraday Net Asset Values Comments Due: Federal Register version (86 FR 26767)
34-91806
May 10, 2021
SR-ICC-2021-005
Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan Comments Due: Federal Register version (86 FR 26561)
34-91790
May 7, 2021
SR-NYSE-2021-15
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules Related to Co-Location File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 26242)
34-91790
May 7, 2021
SR-NYSEAMER-2021-13
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules Related to Co-Location File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 26242)
34-91787
May 6, 2021
SR-EMERALD-2021-09
Order Approving Proposed Rule Change To Adopt Exchange Rule 531(a), Reports, To Provide for a New "Liquidity Taker Event Report" Federal Register version (86 FR 26111)
34-91785
May 6, 2021
SR-NYSE-2021-05
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 26082)
34-91785
May 6, 2021
SR-NYSENAT-2021-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 26082)
34-91785
May 6, 2021
SR-NYSEArca-2021-07
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 26082)
